Reg BI

There are Recent Customer Complaints with Broker Tara Rotfeld in Firm Edward Jones

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tara Rotfeld (Rotfeld), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Rotfeld recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $21,572.00 on December 09, 2020.

Tara Leigh Rotfeld was a subject of the customer’s complaint against her member firm that asserted the following causes of action: negligence, negligent misrepresentation, and unsuitability. The causes of action related to Claimant’s allegation that the recommendation to transfer funds from their American Fund investments to other American Funds investments was negligent and unsuitable.

There are Recent Customer Complaints with Broker Ronald Segon in Firm LPL Financial LLC

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Segon (Segon), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Segon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on December 14, 2020.

Claimant alleges that Registered Representative recommended investments in real estate investment trusts (REITS) but failed to disclose their illiquid and speculative nature.

Broker Manuel Paredes in First Standard Financial Company LLC Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manuel Paredes (Paredes), previously associated with First Standard Financial Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paredes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $462,431.58 on December 11, 2020.

Client alleges unsuitability, overconcentration and excessive commissions.

Broker Thomas Maguire in Integrity Alliance, LLC. Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Maguire (Maguire), currently associated with Integrity Alliance, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Maguire recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on December 09, 2020.

Claimant alleges Maguire misrepresented the timing of exit from VUL positions.

Broker William Platt in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Platt (Platt), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Platt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 14, 2020.

Clients allege Mr. Platt’s unaffiliated RIA firm Momentum Advisors misrepresented their purchase in GPB Waste Management LP and Vida Longevity Fund.

There are Recent Customer Complaints with Broker James Salter in Firm J.P. Morgan Securities LLC

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Salter (Salter), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Salter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $2,126,000.00 on December 14, 2020.

Claimant has alleged unauthorized trading by accepting trade instructions from one account Trustee. Activity date 03/16/2020.

Broker Warynex Hernandez in UBS Financial Services Incorporated of Puerto Rico Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Warynex Hernandez (Hernandez), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hernandez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on December 14, 2020.

Time frame: unspecified\<char_lb_r>\, \<char_lb_r>\, Allegations: Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds was unsuitable and that his account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.

Broker Scott Murray in RBC Capital Markets, LLC Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Murray (Murray), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murray recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $115,000.00 on December 09, 2020.

Time frame: 2014-2016\<char_lb_r>\, Claimants’ counsel alleges unsuitability, misrepresentation, and negligence with respect to recommendations to invest in energy sector bonds.

Broker Samuel Coquillard in Pacific Global Fund Distributors, INC. Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Coquillard (Coquillard), previously associated with Pacific Global Fund Distributors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Coquillard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,500,000.00 on December 14, 2020.

In the financial industry advisors must meet the requirements of the SEC’s Regulation Best Interest (Reg BI) in providing investment advice and services. Reg BI established a ‘best interest’ standard for brokerage firms and registered representatives. Reg BI applies when brokers recommend a retail investor engage in securities transaction or an investment strategy involving one or more securities. Reg BI also applies to financial advice concerning the transfer of funds and opening of accounts. This standard applies when brokers make recommendations to retail customer for any securities transaction or investment strategy involving securities, including recommendations of types of accounts.

There are Recent Customer Complaints with Broker Mark Burns in Firm LPL Financial LLC

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Burns (Burns), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burns recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $122,070.23 on December 09, 2020.

Time frame: 1997-2009 allegations: claimants’ counsel alleges unsuitability and misrepresentation of investments, including an adjustable life insurance policy, resulting in losses.